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These training materials were originally written by Danielle M. Carman, Assistant Director and
General Counsel, Office of Indigent Defense Services, and updated by Anne M. Gomez,
Assistant Appellate Defender, Office of the Appellate Defender, and Julie R. Lewis, Assistant
Public Defender, Mecklenburg County
I. INTRODUCTION:
Our appellate courts are increasingly using “waiver” to avoid reaching the merits of
defense challenges in criminal cases.
While appellate attorneys can and do fail to preserve appellate issues, “waiver” most
often begins at the trial level . . . . . . . . . . .
For a further discussion of how preserving the record not only protects a later appeal but also supports the
defense at trial, see Ira Mickenberg, Preserving the Record and Making Objections at Trial: A Win-Win Proposition
for Client and Lawyer (North Carolina Defender Trial School, July 2011), available at www.ncids.org/Defender
%20Training/2011DefenderTrialSchool/PreservingRecord%20_Mickenberg.pdf.
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III. PRETRIAL:
A. Short-Form Indictments:
G.S. 15-144, 15-144.1, and 15-144.2 permit short-form indictments in first-degree
murder, first-degree rape, and first-degree sexual offense cases. In all cases utilizing such
a short-form indictment, as well as any cases where the indictment does not in fact set
forth all elements of the offense, you should move to dismiss the indictment on the
ground that it violates the Fifth, Sixth, and Fourteenth Amendments to the United States
Constitution. See Jones v. United States, 526 U.S. 227 (1999), and Apprendi v. New
Jersey, 530 U.S. 466 (2000). In capital cases, you should move to strike the death penalty
from consideration because no aggravating factors are alleged in the indictment. See Ring
v. Arizona, 536 U.S. 584 (2002) (aggravating factors are elements of a capital offense and
must be found by the jury).
Make a motion for a bill of particulars asking the State to identify the degrees of the
offense (e.g., first-degree vs. second-degree) and the theories (e.g., premeditation and
deliberation vs. felony murder). If the judge denies the motion, the State cannot then
argue on appeal that the defense attorney waived any opportunity to obtain adequate
notice of the charge.
In numerous cases, the Supreme Court of North Carolina has rejected the argument that
short-form first-degree murder indictments that do not allege premeditation and
deliberation violate Apprendi. See, e.g., State v. Braxton, 352 N.C. 158 (2000); see also
Allen v. Lee, 366 F.3d 319 (4th Cir. 2004) (en banc) (finding N.C.’s use of the short-form
indictment alleging the elements of “common law” murder to be sufficient to inform the
defendant of the charge against him or her, thus satisfying the requirements of the Sixth
and Fourteenth Amendments). The N.C. Supreme Court has also rejected a challenge to
the failure of an indictment to allege aggravating factors in a capital case. See State v.
Hunt, 357 N.C. 257 (2003). Regardless of the above decisions, you should still preserve
the issue for federal review.
For preservation purposes, you should also move to dismiss under article I, sections 22
and 23 of the N.C. Constitution. Argue two bases for the motion: (1) that the indictment
does not give the trial court jurisdiction to try the defendant or to enter a judgment; and
(2) that the indictment does not give the defendant adequate notice of the charge.
B. Miscellaneous:
If your ex parte motion for expert assistance is denied, make sure you get the substance
of your motion and the trial judge’s order on the record.
If you believe that your client’s right to presence has been violated by an ex parte contact,
find a way to have the record reflect that the contact occurred.
Appendix B: Preserving the Record on Appeal | 3
V. COMPLETE RECORDATION:
In criminal cases, the trial judge must require the court reporter to record all proceedings
except non-capital jury selection, opening and closing statements to the jury, and legal
arguments of the attorneys. See G.S. 15A-1241(a).
However, you should move to have everything recorded under G.S. 15A-1241(b)!!
Upon motion, the court reporter “must” record all proceedings. You should also ensure
that the court reporter is actually present and recording at all stages of trial.
If a bench conference is not recorded, ask the trial judge to reproduce it for the record and
ensure that all of your objections are in the record.
If something “non-verbal” happens at trial, ask to have the record reflect what happened.
e.g.: In State v. Golphin, 352 N.C. 364, 452–54 (2000), the trial attorneys should have
asked to have the record reflect that the prosecutor pointed a gun at the only African
American juror during closing arguments.
e.g.: If your client is shackled without the necessary hearing and factual findings
required by G.S. 15A-1031, and the jury saw the shackles, ask to have the record
reflect that fact. Also describe for the record what type of restraint was being used.
render a fair and impartial verdict.” This section allows a statutory challenge for cause
based on juror bias and, thus, should give a defendant a statutory right to explore possible
sources of bias.
In addition, you should try to constitutionalize your right to ask the question. See, e.g.,
Turner v. Murray, 476 U.S. 28 (1986) (right to impartial jury under the Fifth, Sixth, and
Fourteenth Amendments guarantees a capital defendant accused of interracial crime the
right to question prospective jurors about racial bias; violation of right requires death
sentence to be vacated).
To fully preserve any error based on curtailed defense questioning during voir dire, you
should submit a written motion listing the questions you want to ask and obtain a ruling
on the record. You also need to exhaust your peremptory challenges. See State v.
Fullwood, 343 N.C. 725, 734–35 (1996).
C. Batson Error:
Establish the races of all prospective jurors for the record: File a pretrial motion
asking the trial court to ensure that the races of prospective jurors are recorded by (1) the
judge inquiring and making findings for the record, or (2) the judge requiring the parties
to stipulate to jurors’ races as selection proceeds. If the court will not permit any other
way, ask each juror to put his or her race on the record orally or by questionnaire.
If you use juror questionnaires, move to have them admitted into evidence and
made part of the record. If the questionnaires are left in your possession, save them for
the appellate attorney.
Object every time the prosecutor excuses a juror for even arguably racial reasons. See
State v. Smith, 351 N.C. 251 (2000). If you are prepared to make a prima facie showing,
ask the trial court for an opportunity to present evidence. The court is required to honor
this request. See State v. Green, 324 N.C. 238 (1989).
If the trial court declines to find a prima facie case, object. If the court asks the prosecutor
to offer race-neutral reasons, ask for an opportunity to rebut the prosecutor’s showing.
Remember that Batson applies to gender-based challenges as well!
Appendix B: Preserving the Record on Appeal | 5
If you forget to renew your motion to dismiss at the close of all the evidence, you should
move to dismiss based on the insufficiency of the evidence after the verdict and before
entry of judgment. G.S. 15A-1227(a). You can also move to dismiss after the jury is
discharged without a verdict and before the end of the session. Id. G.S. 15A-1414(b)(1)c.
also allows a defendant to file a motion for appropriate relief after return of the verdict
asserting that “[t]he evidence, at the close of all the evidence, was insufficient to justify
submission of the case to the jury . . . .” This ground may be asserted even if the
defendant made no prior motion to dismiss based on insufficient evidence. Id. In
reviewing the defendant’s contention under this statute, the judge will use the same
“substantial evidence” test that would have been used by the judge if the motion to
dismiss had been made during trial. See State v. Acklin, 71 N.C. App. 261 (1984).
After a guilty verdict is rendered, you may file a motion for appropriate relief under G.S.
15A-1414(b)(2) asserting that “[t]he verdict is contrary to the weight of the evidence.”
This motion is appropriately made when the State’s evidence is legally sufficient to go to
the jury but the evidence favorable to the defendant (whether offered by the defendant or
the State) has greater probative force than the evidence introduced against him or her. See
Roberts v. Hill, 240 N.C. 373 (1954). This type of motion is addressed to the discretion of
the trial court and is reviewable on appeal under an abuse of discretion standard. See
State v. Batts, 303 N.C. 155 (1981).
motu to correct the error.” State v. Taylor, 337 N.C. 597, 613 (1994) (citation omitted).
This is a much more stringent standard of review than is applied to preserved errors so it
is critically important for appellate purposes to timely object to improper statements
made by the prosecutor and to request curative instructions if the objection is sustained.
If your objection is sustained, immediately ask the judge to instruct the jury to disregard
the improper statements. You should also carefully consider whether further remedy is
necessary or whether it would serve to draw further negative attention to the comments.
If you decide that the prejudice resulting from a prosecutor’s improper argument was
severe and in need of further remedy, you may ask the judge to:
admonish the prosecutor to refrain from that line of argument;
require the prosecutor to retract the improper argument;
repeat the curative instruction during the jury charge; or
grant a mistrial.
See State v. Jones, 355 N.C. 117, 129 (2002) (explaining that it is incumbent on trial
judge to vigilantly monitor closing arguments, “to intervene as warranted, to entertain
objections, and to impose any remedies pertaining to those objections”); Wilcox v. Glover
Motors, Inc., 269 N.C. 473 (1967) (listing several methods by which a trial judge, in his
or her discretion, may correct an improper argument).
The filing of a motion in limine regarding closing arguments is not sufficient, by itself, to
preserve closing argument error. N.C. Appellate Rule 10(a)(1) requires that you actually
obtain a ruling on the motion from the trial judge. See State v. Daniels, 337 N.C. 243,
275–76 n.1 (1994). In addition, you should renew the motion or object during the
prosecutor’s closing argument.
Object to any attempts by the prosecutor to argue in closing that your client’s post-
Miranda exercise of his or her constitutional rights to silence and counsel support an
inference of guilt. See Doyle v. Ohio, 426 U.S. 610 (1976).
The Supreme Court of North Carolina has displayed an increasing willingness to find
reversible error due to improper closing arguments by prosecutors. Be vigilant to
improper arguments and object!
X. JURY INSTRUCTIONS:
Clearly and specifically object to erroneous jury instructions before the jury retires to
deliberate. See N.C. R. APP. P. 10(a)(2); see also State v. Bennett, 308 N.C. 530, 535
(1983) (appellate rule abrogates the contrary provision in G.S. 15A-1231(d) and 15A-
1446(d)(13)). If you do not object at trial, instructional errors will only be reviewed for
plain error—an extremely difficult standard to meet. See State v. Odom, 307 N.C. 655,
660 (1983).
Submit all of your proposed jury instructions—especially special instructions—in
writing. See G.S. 1-181; G.S. 15A-1231(a). Requested instructions that are refused then
become a part of the record on appeal by statute. G.S. 15A-1231(d). Then follow along
on your copy as the judge instructs the jury. Judges very often make unintentional
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Submit your proposed jury instructions as early as possible so the judge will have a
chance to review them and make a ruling. Parties may submit proposed jury
instructions at the close of the evidence or at an earlier time if directed by the judge. G.S.
15A-1231(a). Requests for special instructions must be submitted to the judge before the
judge begins to give the jury charge. G.S. 1-181(b); see also N.C. GEN. R. PRAC. SUPER.
& DIST. CT. 21 (providing that “[i]f special instructions are desired, they should be
submitted in writing to the trial judge at or before the jury instruction conference”); State
v. Long, 20 N.C. App. 91, 96 (1973) (holding that a request for special instruction is not
timely if it is tendered after the jury retires to deliberate). However, the judge may, in his
or her discretion, consider requests for special instructions regardless of the time they are
made. G.S. 1-181(b).
Before consenting to the jury’s request to take an exhibit into the jury room pursuant to
G.S. 15A-1233(b), carefully consider how the jury may use the exhibit during its
deliberations and decide whether it would be in the defendant’s best interest to consent. If
the trial judge, without obtaining consent from all parties, sends an exhibit to the jury
room that you believe is harmful to the defendant’s case, object on the record in order to
ensure preservation of the issue on appeal.
Make sure that the timing of jury deliberations is made a part of the record. Lengthy or
troubled jury deliberations are an extremely helpful way to show prejudice on appeal.
Make sure that all jury notes and other communications between the judge and jury are
made a part of the record.
XII. SENTENCING:
Do not stipulate as a matter of course to the prior record level worksheet or to the
defendant’s prior convictions, especially if they are out-of-state convictions. The
burden is on the prosecution to prove that the defendant’s prior convictions exist. G.S.
15A-1340.14(f). If they are out-of-state convictions, the State must prove they are
substantially similar to North Carolina convictions or else they must be classified at the
lowest punishment level (Class I for felonies, Class 3 for misdemeanors). G.S. 15A-
1340.14(e). If you stipulate (or fail to object when asked or agree in any way), the State
does not have to prove anything. See State v. Alexander, 359 N.C. 824 (2005). The issue
will most likely be preserved if you “take no position” but the safer position is to object
(even if you do not wish to be heard).
Errors that occur during sentencing are supposed to be automatically preserved for
review. See G.S. 15A-1446(d)(18); State v. Canady, 330 N.C. 398 (1991); State v.
McQueen, 181 N.C. App. 417 (2007). However, the N.C. Court of Appeals has also
repeatedly found that a defendant waives appellate review of a sentencing error when he
Appendix B: Preserving the Record on Appeal | 11
or she fails to object. See, e.g., State v. Black, 197 N.C. App. 731 (2009) (right to
appellate review of constitutional issue was waived because defendant failed to raise it at
the sentencing hearing); State v. Kimble, 141 N.C. App. 144 (2000) (issue regarding
sufficiency of the evidence to support the finding of aggravating factors was not properly
before the court because defendant did not object during the sentencing hearing). To be
safe, always object to errors that occur during the sentencing hearing.
In response to the United States Supreme Court decision in Blakely v. Washington, 542
U.S. 296 (2004), the N.C. General Assembly substantially amended the Structured
Sentencing Act. Session Law 2005-145, referred to as the Blakely bill, went into effect on
June 30, 2005, and applies to prosecutions for all offenses committed on or after that
date. It is prudent to preserve all Blakely issues just as you would preserve other issues
during a trial. This includes motions to dismiss for failure to prove an aggravating factor
beyond a reasonable doubt, objections to evidence, and objections to erroneous jury
instructions.
Present evidence to support mitigating factors if the evidence was not presented at trial.
E.g., Have your client’s mom testify about his or her support system in the community. If
the mitigating factors are supported by documentary evidence, ask that the documents be
entered into evidence.